Supplementary Provisions, Article 7Transitional Measures Concerning Changes in Particulars Stated in the Written Application for Registration
第七条(登録申請書記載事項の変更に関する経過措置)
A financial instruments business operator (meaning a financial instruments business operator prescribed in Article 2, paragraph (9) of the Financial Instruments and Exchange Act; the same applies in paragraph (1) of the following Article) that, at the time this Act comes into effect, currently falls under the case prescribed in Article 29-2, paragraph (1), item (v)-2 of the Financial Instruments and Exchange Act as amended by the provisions of Article 1 (excluding the amending provisions set forth in Article 1, items (ii) and (iii) of the Supplementary Provisions; the same applies in paragraph (4) of the following Article) (hereinafter in this Article through Article 9 of the Supplementary Provisions referred to as the "New Financial Instruments and Exchange Act") must, within six months from the day this Act comes into effect (referred to as "the effective date" in the following Article), submit to the Prime Minister, as provided by Cabinet Office Order, a written application stating to that effect; in this case, that application is deemed to be an application for registration of a change under Article 31, paragraph (4) of the New Financial Instruments and Exchange Act, and the provisions of paragraph (5) of that Article and Article 198, paragraph (1) (limited to the portion pertaining to item (i)) of the New Financial Instruments and Exchange Act apply.
この法律の施行の際現に第一条の規定(附則第一条第二号及び第三号に掲げる改正規定を除く。次条第四項において同じ。)による改正後の金融商品取引法(以下この条から附則第九条までにおいて「新金融商品取引法」という。)第二十九条の二第一項第五号の二に規定するときに該当する金融商品取引業者(金融商品取引法第二条第九項に規定する金融商品取引業者をいう。次条第一項において同じ。)は、この法律の施行の日(次条において「施行日」という。)から六月以内に、内閣府令で定めるところにより、その旨を記載した申請書を内閣総理大臣に提出しなければならない。この場合においては、当該申請を新金融商品取引法第三十一条第四項の規定による変更登録の申請とみなして、同条第五項及び新金融商品取引法第百九十八条第一項(第一号に係る部分に限る。)の規定を適用する。
Supplementary Provisions, Article 8Transitional Measures Concerning Investment Management-Related Services
第八条(投資運用関係業務に関する経過措置)
With regard to a financial instruments business operator that, at the time this Act comes into effect, is currently entrusting investment management-related services (meaning the investment management-related services prescribed in Article 2, paragraph (43) of the New Financial Instruments and Exchange Act; hereinafter the same applies in this Article), a change is deemed to have occurred on the effective date in the particulars set forth in Article 29-2, paragraph (1), item (xii) of the New Financial Instruments and Exchange Act, and the provisions of Article 31, paragraph (1) and Article 205-2-3, paragraph (1) (limited to the portion pertaining to item (i)) of the New Financial Instruments and Exchange Act apply; in this case, the phrase "two weeks" in Article 31, paragraph (1) of the New Financial Instruments and Exchange Act is deemed to be replaced with "six months".
この法律の施行の際現に投資運用関係業務(新金融商品取引法第二条第四十三項に規定する投資運用関係業務をいう。以下この条において同じ。)を委託している金融商品取引業者については、施行日において新金融商品取引法第二十九条の二第一項第十二号に掲げる事項について変更があったものとみなして、新金融商品取引法第三十一条第一項及び第二百五条の二の三第一項(第一号に係る部分に限る。)の規定を適用する。この場合において、新金融商品取引法第三十一条第一項中「二週間」とあるのは、「六月」とする。
With regard to a registered financial institution (meaning a registered financial institution prescribed in Article 2, paragraph (11) of the New Financial Instruments and Exchange Act, limited to a person that has obtained the authorization under Article 1, paragraph (1) of the Act on Engagement in Trust Business by Financial Institutions (Act No. 43 of 1943)) that is, at the time this Act comes into effect, actually entrusting investment management-related services, the provisions of Article 33-6, paragraph (1) of the New Financial Instruments and Exchange Act as applied with replacement of terms pursuant to the provisions of Article 33-8, paragraph (1) of the New Financial Instruments and Exchange Act, and the provisions of Article 205-2-3, paragraph (1) (limited to the part pertaining to item (i)) of the New Financial Instruments and Exchange Act, apply, deeming that a change has occurred on the effective date in the particulars prescribed in Article 33-3, paragraph (1) of the New Financial Instruments and Exchange Act as applied with replacement of terms pursuant to the provisions of Article 33-8, paragraph (1) of the New Financial Instruments and Exchange Act (excluding the particulars set forth in the items of Article 33-3, paragraph (1)); in this case, the phrase "two weeks" in Article 33-6, paragraph (1) of the New Financial Instruments and Exchange Act as applied with replacement of terms pursuant to the provisions of Article 33-8, paragraph (1) of the New Financial Instruments and Exchange Act is deemed to be replaced with "six months".
この法律の施行の際現に投資運用関係業務を委託している登録金融機関(新金融商品取引法第二条第十一項に規定する登録金融機関をいい、金融機関の信託業務の兼営等に関する法律(昭和十八年法律第四十三号)第一条第一項の認可を受けた者に限る。)については、施行日において新金融商品取引法第三十三条の八第一項の規定により読み替えて適用する新金融商品取引法第三十三条の三第一項に規定する事項(同項各号に掲げる事項を除く。)について変更があったものとみなして、新金融商品取引法第三十三条の八第一項の規定により読み替えて適用する新金融商品取引法第三十三条の六第一項の規定及び新金融商品取引法第二百五条の二の三第一項(第一号に係る部分に限る。)の規定を適用する。この場合において、新金融商品取引法第三十三条の八第一項の規定により読み替えて適用する新金融商品取引法第三十三条の六第一項中「二週間」とあるのは、「六月」とする。
With regard to a notifier of specially permitted services for foreign investors, etc. (meaning a notifier of specially permitted services for foreign investors, etc. prescribed in Article 63-9, paragraph (4) of the Financial Instruments and Exchange Act) that is, at the time this Act comes into effect, actually entrusting investment management-related services, the provisions of Article 63-9, paragraph (7) of the Financial Instruments and Exchange Act and the provisions of Article 205-2-3, paragraph (1) (limited to the part pertaining to item (i)) of the New Financial Instruments and Exchange Act apply, deeming that a change has occurred on the effective date in the particulars set forth in Article 63-9, paragraph (1), item (viii) of the New Financial Instruments and Exchange Act; in this case, the phrase "without delay" in Article 63-9, paragraph (7) of the Financial Instruments and Exchange Act is deemed to be replaced with "within six months from that day".
この法律の施行の際現に投資運用関係業務を委託している海外投資家等特例業務届出者(金融商品取引法第六十三条の九第四項に規定する海外投資家等特例業務届出者をいう。)については、施行日において新金融商品取引法第六十三条の九第一項第八号に掲げる事項について変更があったものとみなして、金融商品取引法第六十三条の九第七項及び新金融商品取引法第二百五条の二の三第一項(第一号に係る部分に限る。)の規定を適用する。この場合において、金融商品取引法第六十三条の九第七項中「遅滞なく」とあるのは、「その日から六月以内に」とする。
With regard to a foreign investment management business operator prescribed in Article 3-3, paragraph (1) of the Supplementary Provisions of the New Financial Instruments and Exchange Act, or a subsidiary company of a foreign investment management business operator prescribed in paragraph (7) of that Article, that is, at the time this Act comes into effect, actually entrusting investment management-related services, that has filed the notification under the provisions of Article 3-3, paragraph (1) of the Supplementary Provisions of the Financial Instruments and Exchange Act prior to the amendment by the provisions of Article 1 (hereinafter in this paragraph referred to as the "Former Financial Instruments and Exchange Act") (including as applied mutatis mutandis pursuant to paragraph (7) of that Article), and that has not filed the notification under the provisions of Article 63-10, paragraph (3) of the Financial Instruments and Exchange Act to the effect that it falls under item (ii) of that paragraph as applied pursuant to the provisions of Article 3-3, paragraph (4) of the Supplementary Provisions of the Former Financial Instruments and Exchange Act (including as applied mutatis mutandis pursuant to paragraph (7) of that Article), the provisions of Article 63-9, paragraph (7) of the Financial Instruments and Exchange Act as applied pursuant to the provisions of Article 3-3, paragraph (4) of the Supplementary Provisions of the New Financial Instruments and Exchange Act (including as applied mutatis mutandis pursuant to paragraph (7) of that Article; the same applies hereinafter in this paragraph), and the provisions of Article 205-2-3, paragraph (1) (limited to the part pertaining to item (i)) of the New Financial Instruments and Exchange Act, apply, deeming that a change has occurred on the effective date in the particulars set forth in Article 3-3, paragraph (1), item (viii) of the Supplementary Provisions of the New Financial Instruments and Exchange Act (including as applied mutatis mutandis pursuant to paragraph (7) of that Article); in this case, the phrase "without delay" in Article 63-9, paragraph (7) of the Financial Instruments and Exchange Act as applied pursuant to the provisions of Article 3-3, paragraph (4) of the Supplementary Provisions of the New Financial Instruments and Exchange Act is deemed to be replaced with "within six months from that day".
この法律の施行の際現に投資運用関係業務を委託している第一条の規定による改正前の金融商品取引法(以下この項において「旧金融商品取引法」という。)附則第三条の三第一項(同条第七項において準用する場合を含む。)の規定による届出をした新金融商品取引法附則第三条の三第一項に規定する外国投資運用業者又は同条第七項に規定する外国投資運用業者の子会社であって、旧金融商品取引法附則第三条の三第四項(同条第七項において準用する場合を含む。)の規定により適用する金融商品取引法第六十三条の十第三項第二号に該当する旨の同項の規定による届出をしていない者については、施行日において新金融商品取引法附則第三条の三第一項第八号(同条第七項において準用する場合を含む。)に掲げる事項について変更があったものとみなして、同条第四項(同条第七項において準用する場合を含む。以下この項において同じ。)の規定により適用する金融商品取引法第六十三条の九第七項及び新金融商品取引法第二百五条の二の三第一項(第一号に係る部分に限る。)の規定を適用する。この場合において、新金融商品取引法附則第三条の三第四項の規定により適用する金融商品取引法第六十三条の九第七項中「遅滞なく」とあるのは、「その日から六月以内に」とする。
Supplementary Provisions, Article 9Transitional Measures Accompanying Partial Amendment of the Penal Code
第九条(刑法の一部改正に伴う経過措置)
With regard to the application of the provisions of Article 198, paragraph (2) of the New Financial Instruments and Exchange Act during the period up to the day before the date of enforcement of the Act Partially Amending the Penal Code (Act No. 67 of 2022) (hereinafter in this Article referred to as the "effective date of the 2022 Penal Code Amendments"), the term "imprisonment" in that paragraph is deemed to be replaced with "imprisonment with work"; the same applies to the application of the provisions of that paragraph, on or after the effective date of the 2022 Penal Code Amendments, to acts committed before the effective date of the 2022 Penal Code Amendments.
刑法等の一部を改正する法律(令和四年法律第六十七号)の施行の日(以下この条において「刑法施行日」という。)の前日までの間における新金融商品取引法第百九十八条第二項の規定の適用については、同項中「拘禁刑」とあるのは、「懲役」とする。刑法施行日以後における刑法施行日前にした行為に対する同項の規定の適用についても、同様とする。
Supplementary Provisions, Article 10Delegation of Authority
第十条(権限の委任)
The Prime Minister is to delegate the authority under the provisions of Article 7 of the Supplementary Provisions to the Commissioner of the Financial Services Agency.
内閣総理大臣は、附則第七条の規定による権限を金融庁長官に委任する。
The Commissioner of the Financial Services Agency may delegate the authority delegated pursuant to the provisions of the preceding paragraph to the Director-General of a Local Finance Bureau or the Director-General of a Local Finance Branch Bureau, pursuant to the provisions of Cabinet Order.
金融庁長官は、政令で定めるところにより、前項の規定により委任された権限を財務局長又は財務支局長に委任することができる。
Supplementary Provisions, Article 17Transitional Measures Concerning Penal Provisions
第十七条(罰則に関する経過措置)
With regard to the application of penal provisions to acts committed before this Act (or, for the provisions set forth in Article 1, items (ii) and (iii) of the Supplementary Provisions, those provisions) comes into effect, and to acts committed on or after the item (iii) effective date in the cases where the provisions then in force continue to govern pursuant to the provisions of Articles 3, 4 and 6 of the Supplementary Provisions, the provisions then in force continue to govern.
Supplementary Provisions, Article 18Delegation to Cabinet Order
第十八条(政令への委任)
Beyond what is provided for in these Supplementary Provisions, transitional measures necessary for the enforcement of this Act (including transitional measures concerning penal provisions) are specified by Cabinet Order.
この附則に規定するもののほか、この法律の施行に関し必要な経過措置(罰則に関する経過措置を含む。)は、政令で定める。
Supplementary Provisions, Article 19Review
第十九条(検討)
The government is to, with a target of five years after this Act comes into effect, taking into account the status, etc. of the enforcement of the respective Acts as amended by this Act (hereinafter referred to in this Article as "the respective Acts as amended"), when it finds it necessary, review the provisions of the respective Acts as amended, and take the required measures based on the results of that review.
政府は、この法律の施行後五年を目途として、この法律による改正後のそれぞれの法律(以下この条において「改正後の各法律」という。)の施行の状況等を勘案し、必要があると認めるときは、改正後の各法律の規定について検討を加え、その結果に基づいて所要の措置を講ずるものとする。
If any of the following items applies, the person who has committed the violation is subject to punishment by imprisonment for not more than three years, a fine of not more than three million yen…
次の各号のいずれかに該当する場合には、当該違反行為をした者は、三年以下の拘禁刑若しくは三百万円以下の罰金に処し、又はこれを併科する。
Open this provisionthe person receives, by wrongful means, the registration referred to in Article 66, Article 66-27, Article 66-50, or Article 66-71, the registration of a change referred to in Article 31…
不正の手段により第六十六条、第六十六条の二十七、第六十六条の五十若しくは第六十六条の七十一の登録、第三十一条第四項若しくは第六十六条の七十五第四項の変更登録又は第五十九条第一項、第六十条第一項若しくは第六十条の十四第一項の許可を受けたとき。
Open this provisionAn officer (including a provisional board member or provisional auditor) or inspector of an incorporated association-operated financial instruments exchange…
第百一条の九の規定により発行する株式の総数の引受け、払込み若しくは金銭以外の財産の給付又は同条第三号に掲げる事項について、内閣総理大臣、裁判所又は会員の総会に対して虚偽の申述を行い…
Open this provision(Definitions)
The term "financial instruments intermediary service" as used in this Act means services that fall under the category of any of the following acts…
この法律において「金融商品仲介業」とは、金融商品取引業者(第二十八条第一項に規定する第一種金融商品取引業(第二十九条の四の二第九項に規定する第一種少額電子募集取扱業務及び第二十九条の四の四第八項に規定する非上場有価証券特例仲介等業務を除く。)又は第二十八条第四項に規定する投資運用業(第二十九条の五第一項に規定する適格…
Open this provision(Definitions)
The term "investment management-related services" as used in this Act means the following services performed in relation to investment management business…
この法律において「投資運用関係業務」とは、投資運用業等(投資運用業(第二十八条第四項に規定する投資運用業をいう。)、適格機関投資家等特例業務(第六十三条第二項に規定する適格機関投資家等特例業務をいい、同条第一項第二号に掲げる行為を行うものに限る。)又は海外投資家等特例業務(第六十三条の八第一項に規定する海外投資家等特…
Open this provision(Definitions)
The term "financial instruments business operator" as used in this Act means a person registered by the Prime Minister pursuant to Article 29.
この法律において「金融商品取引業者」とは、第二十九条の規定により内閣総理大臣の登録を受けた者をいう。
Open this provisionIf any of the following items apply, the person who committed the violation is subject to a fine of not more than 300,000 yen:
次の各号のいずれかに該当する場合には、当該違反行為をした者は、三十万円以下の罰金に処する。
Open this provisionwhen the person fails to make a notification under Article 31, paragraph (1), (3) or (7); Article 32-3, paragraph (1)…
第三十一条第一項、第三項若しくは第七項、第三十二条の三第一項(第三十二条の四及び第五十七条の二十六第一項において準用する場合を含む。)若しくは第二項、第三十三条の六第一項若しくは第三項、第三十五条第三項若しくは第六項、第五十条第一項、第五十七条の二第四項若しくは第六項、第五十七条の十四、第五十七条の十八第一項…
Open this provision(Application for Registration)
if it entrusts investment management-related services, that fact, the trade name, name, or personal name of the entrustee and the content of the investment management-related services entrusted to…
投資運用関係業務を委託する場合においては、その旨並びに委託先の商号、名称又は氏名及び当該委託先に委託する投資運用関係業務の内容その他内閣府令で定める事項
Open this provision(Application for Registration)
if the person seeks to engage in investment management business and, with regard to the investment management business it seeks to engage in, does not receive a deposit of money or securities from a…
投資運用業を行おうとする場合において、その行おうとする投資運用業に関して、顧客から金銭又は有価証券の預託を受けず、かつ、自己と密接な関係を有する者として政令で定める者に顧客の金銭又は有価証券を預託させないときにあつては、その旨
Open this provision(Registration of a Change)
If a particular set forth in the items of Article 29-2, paragraph (1) (excluding items (v) through (vi), item (vii), (b), item (viii), and item (ix)) changes…
金融商品取引業者は、第二十九条の二第一項各号(第五号から第六号まで、第七号ロ、第八号及び第九号を除く。)に掲げる事項について変更があつたときは、その日から二週間以内に、その旨を内閣総理大臣に届け出なければならない。
Open this provision(Registration of a Change)
If a financial instruments business operator seeks to change the particular set forth in Article 29-2, paragraph (1), items (v) through (vi), item (vii), (b), item (viii), or item (ix)…
金融商品取引業者は、第二十九条の二第一項第五号から第六号まで、第七号ロ、第八号又は第九号に掲げる事項について変更をしようとするときは、内閣府令で定めるところにより、内閣総理大臣の行う変更登録を受けなければならない。
Open this provision(Registration of a Change)
The provisions of Article 29-3 and Article 29-4 apply mutatis mutandis to the registration of a change referred to in the preceding paragraph.
第二十九条の三及び第二十九条の四の規定は、前項の変更登録について準用する。この場合において、第二十九条の三第一項中「次に掲げる事項」とあるのは「変更に係る事項」と、第二十九条の四第一項中「次の各号」とあるのは「次の各号(第一号イからニまで、第二号及び第三号ロを除く。)」と読み替えるものとするほか、必要な技術的読替えは…
Open this provision(Application for the Registration of a Financial Institution)
A person seeking the registration referred to in the preceding Article must submit a written application for registration to the Prime Minister, in which it states the following particulars:
前条の登録を受けようとする者は、次に掲げる事項を記載した登録申請書を内閣総理大臣に提出しなければならない。
Open this provision(Notification of a Change)
If the particulars set forth in the items of Article 33-3, paragraph (1) changes, the registered financial institution must notify the Prime Minister of this within two weeks from the day of the…
登録金融機関は、第三十三条の三第一項各号に掲げる事項について変更があつたときは、その日から二週間以内に、その旨を内閣総理大臣に届け出なければならない。
Open this provision(Special Provisions on Cases in Which Trust Business Is Conducted)
With regard to the application of the provisions of Article 33, paragraphs (1) and (2), Article 33-2, Article 33-3, paragraph (1), Article 33-4, paragraph (1), item (i), Article 33-5, paragraph (1)…
銀行、協同組織金融機関その他政令で定める金融機関が金融機関の信託業務の兼営等に関する法律第一条第一項の認可を受けた金融機関である場合における第三十三条第一項及び第二項、第三十三条の二、第三十三条の三第一項、第三十三条の四第一項第一号、第三十三条の五第一項第三号イ、第三十三条の六第一項…
Open this provision(Succession to the Position of a Notifier of Specially Permitted Services for Foreign Investors)
If a notifier of specially permitted services for foreign investors, etc. comes to fall under any of the following cases, the notifier must notify the Prime Minister of this without delay:
海外投資家等特例業務届出者は、次の各号のいずれかに該当することとなつたときは、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
Open this provision(Succession to the Position of a Notifier of Specially Permitted Services for Foreign Investors)
the notifier discontinues specially permitted services for foreign investors, etc.; or
海外投資家等特例業務を廃止したとき。
Open this provision(Notification of Specially Permitted Services for Foreign Investors)
if it entrusts investment management-related services, that fact, the trade name, name, or personal name of the entrustee and the content of the investment management-related services entrusted to…
投資運用関係業務を委託する場合においては、その旨並びに委託先の商号、名称又は氏名及び当該委託先に委託する投資運用関係業務の内容その他内閣府令で定める事項
Open this provision(Notification of Specially Permitted Services for Foreign Investors)
The Prime Minister must make available for public inspection the particulars that are set forth in the items of paragraph (1) related to a notifier of specially permitted services for foreign…
内閣総理大臣は、海外投資家等特例業務届出者(第一項の規定による届出をした者をいい、次条第三項第二号に該当する旨の同項の規定による届出をした者を除く。以下同じ。)に係る第一項各号に掲げる事項のうち内閣府令で定める事項を公衆の縦覧に供しなければならない。
Open this provision(Notification of Specially Permitted Services for Foreign Investors)
If a particular set forth in one of the items of paragraph (1) changes, a notifier of specially permitted services for foreign investors, etc. must notify the Prime Minister of this without delay.
海外投資家等特例業務届出者は、第一項各号に掲げる事項に変更があつたときは、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
Open this provision(Special Provisions on Specially Permitted Services for the Transitional Period)
Notwithstanding the provisions of Article 29 and Article 58-2, a person other than a financial instruments business operator, a financial institution prescribed in Article 33, paragraph (1)…
金融商品取引業者、第三十三条第一項に規定する金融機関、特例業務届出者及び海外投資家等特例業務届出者以外の者で、外国の法令に準拠し、外国において投資運用業(第二十八条第四項に規定する投資運用業をいう。以下この条において同じ。)を行う者(以下この条において「外国投資運用業者」という。)は…
Open this provision(Special Provisions on Specially Permitted Services for the Transitional Period)
if it entrusts investment management-related services, that fact, the trade name, name, or personal name of the entrustee and the content of the investment management-related services entrusted to…
投資運用関係業務を委託する場合においては、その旨並びに委託先の商号、名称又は氏名及び当該委託先に委託する投資運用関係業務の内容その他内閣府令で定める事項
Open this provision(Special Provisions on Specially Permitted Services for the Transitional Period)
If a foreign investment management business operator performs specially permitted services for the transitional period pursuant to the provisions of paragraph (1)…
第一項の規定により外国投資運用業者が移行期間特例業務を行う場合においては、同項の規定による届出を第六十三条の九第一項の規定による届出と、当該移行期間特例業務を第六十三条の八第一項に規定する海外投資家等特例業務とみなして…
Open this provision(Special Provisions on Specially Permitted Services for the Transitional Period)
The provisions of paragraphs (1), (2), (3) (excluding (a) and (b) of item (i), and item (iii)), and (4) apply mutatis mutandis to the case where a subsidiary company of a foreign investment…
第一項、第二項、第三項(第一号イ及びロ並びに第三号を除く。)及び第四項の規定は、外国投資運用業者(第三項第一号又は第二号(ロ及びハを除く。)に該当する者を除く。)の子会社が国内に設ける営業所又は事務所において投資一任契約(その相手方が当該外国投資運用業者のみであるものに限る。)に基づき第二条第八項第十二号に掲げる行為…
Open this provisionEffective Date
the provisions in Article 1 amending Article 2, paragraph (8), item (x), (a) and Article 30, paragraph (1) of the Financial Instruments and Exchange Act…
第一条中金融商品取引法第二条第八項第十号イ及び第三十条第一項の改正規定、同法第三十一条に一項を加える改正規定、同法第二百一条第一号の改正規定並びに同法第二百五条の二の三第一号の改正規定(「第三十一条第一項若しくは第三項」を「第三十一条第一項、第三項若しくは第七項」に改める部分に限る。)並びに附則第十七条の規定 公布の…
Open this provisionEffective Date
the provisions in Article 1 amending Article 27-2, paragraphs (1) and (7), Article 27-3, paragraph (2) and Article 27-9, paragraph (3) of the Financial Instruments and Exchange Act…
第一条中金融商品取引法第二十七条の二第一項及び第七項、第二十七条の三第二項並びに第二十七条の九第三項の改正規定、同項を同条第四項とし、同条第二項を同条第三項とし、同条第一項の次に一項を加える改正規定、同法第二十七条の十三の見出し及び同条第二項の改正規定、同法第二十七条の十六、第二十七条の十九、第二十七条の二十第一項…
Open this provisionDelegation of Authority
The Prime Minister is to delegate the authority under the provisions of Article 7 of the Supplementary Provisions to the Commissioner of the Financial Services Agency.
内閣総理大臣は、附則第七条の規定による権限を金融庁長官に委任する。
Open this provisionReview
The government is to, with a target of five years after this Act comes into effect, taking into account the status, etc. of the enforcement of the respective Acts as amended by this Act…
政府は、この法律の施行後五年を目途として、この法律による改正後のそれぞれの法律(以下この条において「改正後の各法律」という。)の施行の状況等を勘案し、必要があると認めるときは、改正後の各法律の規定について検討を加え、その結果に基づいて所要の措置を講ずるものとする。
Open this provisionWith regard to the application of the provisions of Chapter II-2, Section 1 of the item (iii) Old Financial Instruments and Exchange Act and the provisions of Chapter VI-2 of the Financial…
第三号施行日前に行った第三号旧金融商品取引法第二十七条の三第二項に規定する公開買付開始公告に係る金融商品取引法第二十七条の三第一項に規定する公開買付けに関する第三号旧金融商品取引法第二章の二第一節の規定及びこれらの規定に係る金融商品取引法第六章の二の規定の適用については、なお従前の例による。
Open this provisionWith regard to the application of the provisions of Chapter II-2, Section 2 of the item (iii) Old Financial Instruments and Exchange Act and the provisions of Chapter VI-2 of the Financial…
第三号施行日前に行った金融商品取引法第二十七条の二十二の二第二項において準用する第三号旧金融商品取引法第二十七条の三第二項に規定する公開買付開始公告に係る金融商品取引法第二十七条の二十二の二第二項において準用する同法第二十七条の三第一項に規定する公開買付けに関する第三号旧金融商品取引法第二章の二第二節の規定及びこれら…
Open this provisionWith regard to the submission of the document specified in each of the following items in the case where it has become necessary, before the item (iii) effective date…
第三号施行日前に次の各号に掲げる規定により当該各号に定める書類を提出しなければならないこととなった場合における当該書類の提出については、第三号新金融商品取引法第二十七条の二十三第三項から第五項までの規定にかかわらず、なお従前の例による。
Open this provisionTransitional Measures Concerning Changes in Particulars Stated in the Written Application for Registration
A financial instruments business operator (meaning a financial instruments business operator prescribed in Article 2, paragraph (9) of the Financial Instruments and Exchange Act; the same applies in…
この法律の施行の際現に第一条の規定(附則第一条第二号及び第三号に掲げる改正規定を除く。次条第四項において同じ。)による改正後の金融商品取引法(以下この条から附則第九条までにおいて「新金融商品取引法」という。)第二十九条の二第一項第五号の二に規定するときに該当する金融商品取引業者(金融商品取引法第二条第九項に規定する金…
Open this provisionTransitional Measures Concerning Investment Management-Related Services
With regard to a financial instruments business operator that, at the time this Act comes into effect, is currently entrusting investment management-related services…
この法律の施行の際現に投資運用関係業務(新金融商品取引法第二条第四十三項に規定する投資運用関係業務をいう。以下この条において同じ。)を委託している金融商品取引業者については、施行日において新金融商品取引法第二十九条の二第一項第十二号に掲げる事項について変更があったものとみなして…
Open this provisionTransitional Measures Concerning Investment Management-Related Services
With regard to a financial instruments business operator that, at the time this Act comes into effect, is currently entrusting investment management-related services…
この法律の施行の際現に投資運用関係業務(新金融商品取引法第二条第四十三項に規定する投資運用関係業務をいう。以下この条において同じ。)を委託している金融商品取引業者については、施行日において新金融商品取引法第二十九条の二第一項第十二号に掲げる事項について変更があったものとみなして…
Open this provisionTransitional Measures Concerning Investment Management-Related Services
With regard to a foreign investment management business operator prescribed in Article 3-3, paragraph (1) of the Supplementary Provisions of the New Financial Instruments and Exchange Act…
この法律の施行の際現に投資運用関係業務を委託している第一条の規定による改正前の金融商品取引法(以下この項において「旧金融商品取引法」という。)附則第三条の三第一項(同条第七項において準用する場合を含む。)の規定による届出をした新金融商品取引法附則第三条の三第一項に規定する外国投資運用業者又は同条第七項に規定する外国投…
Open this provisionTransitional Measures Accompanying Partial Amendment of the Penal Code
With regard to the application of the provisions of Article 198, paragraph (2) of the New Financial Instruments and Exchange Act during the period up to the day before the date of enforcement of the…
刑法等の一部を改正する法律(令和四年法律第六十七号)の施行の日(以下この条において「刑法施行日」という。)の前日までの間における新金融商品取引法第百九十八条第二項の規定の適用については、同項中「拘禁刑」とあるのは、「懲役」とする。
Open this provisionregistered financial institutionmachine translation
「登録金融機関」
A bank, cooperative financial institution (協同組織金融機関) or other financial institution a Cabinet Order (政令) specifies that is registered under Article 33-2.
Defined inArticle 2, paragraph (11)
notifier of specially permitted services for foreign investors, etc.machine translation
「海外投資家等特例業務届出者」
A person that has notified the Prime Minister under Article 63-9, paragraph (1) that it will carry on specially permitted services for foreign investors, etc. (海外投資家等特例業務), other than one that has since given notice under Article 63-10, paragraph (3), item (ii) that it has discontinued them.
Defined inArticle 63-9, paragraph (4)
subsidiary company
「子会社」
A company in which a corporation holds a majority of the voting rights of all its shareholders, etc.; a company in which the corporation and its subsidiary companies, or those subsidiary companies alone, hold such a majority is treated as its subsidiary company too.
Defined inArticle 87-3, paragraph (3)
foreign investment management business operator
「外国投資運用業者」
In Article 3-3 of the supplementary provisions (附則) of this Act, a person that carries on investment management business (投資運用業) abroad under foreign laws, other than a financial instruments business operator, a financial institution under Article 33, paragraph (1), or a person that has given notice of specially permitted business (特例業務届出者 or 海外投資家等特例業務届出者).
Short name set inSupplementary Provisions, Article 3-3, paragraph (1)· applies only in this article
item (iii) effective datemachine translation
「第三号施行日」
The date the provisions listed in Article 1, item (iii) of the supplementary provisions (附則) of Act No. 32 of 2024 come into effect, a date a Cabinet Order (政令) sets within two years of the Act's promulgation.
Short name set inSupplementary Provisions, Article 2, paragraph (1)
New Financial Instruments and Exchange Actmachine translation
「新金融商品取引法」
In Articles 7 to 9 of the supplementary provisions (附則) of Act No. 32 of 2024, this Act as amended by Article 1 of that Act, leaving out the amendments listed in Article 1, items (ii) and (iii) of those supplementary provisions.
Short name set inSupplementary Provisions, Article 7, paragraph (1)· applies only in this article and in Supplementary Provisions, Articles 8 and 9
the effective datemachine translation
「施行日」
In Articles 7 and 8 of the supplementary provisions (附則) of Act No. 32 of 2024, the date that Act comes into effect.
Short name set inSupplementary Provisions, Article 7, paragraph (1)· applies only in this provision and in Supplementary Provisions, Article 8
financial instruments business operator
「金融商品取引業者」
In Article 7 and Article 8, paragraph (1) of the supplementary provisions (附則) of Act No. 32 of 2024, a person registered by the Prime Minister under Article 29 of this Act (Article 2, paragraph (9)).
Defined inSupplementary Provisions, Article 7, paragraph (1)· applies only in this provision and in Supplementary Provisions, Article 8, paragraph (1)
investment management-related servicesmachine translation
「投資運用関係業務」
In Article 8 of the supplementary provisions (附則) of Act No. 32 of 2024, investment management-related services (投資運用関係業務) as defined in Article 2, paragraph (43) of this Act as amended by that Act.
Defined inSupplementary Provisions, Article 8, paragraph (1)· applies only in this article
Former Financial Instruments and Exchange Actmachine translation
「旧金融商品取引法」
This Act as it stood before Article 1 of Act No. 32 of 2024 amended it.
Short name set inSupplementary Provisions, Article 8, paragraph (4)· applies only in this paragraph
Effective date of the 2022 Penal Code Amendmentsmachine translation
「刑法施行日」
The day the 2022 Act amending the Penal Code and other laws (刑法等の一部を改正する法律, Act No. 67 of 2022) comes into effect.
Short name set inSupplementary Provisions, Article 9, paragraph (1)· applies only in this article
the respective Acts as amendedmachine translation
「改正後の各法律」
Each of the laws as amended by the amending Act these supplementary provisions belong to.
Short name set inSupplementary Provisions, Article 19, paragraph (1)· applies only in this article
Commissioner of the Financial Services Agency
金融庁長官
The head of the Financial Services Agency (金融庁), which the Act for Establishment of the Financial Services Agency (金融庁設置法) sets up as an external agency (外局) of the Cabinet Office — an agency attached to it, with a head of its own (Article 2). The Agency's mission is to keep Japan's financial system stable, to protect depositors, insurance policyholders, investors in securities and people in a like position, and to help finance flow smoothly (Article 3, paragraph (1)). The Banking Act hands the Prime Minister's (内閣総理大臣) powers under it to the Commissioner, except those a Cabinet Order (政令) keeps back, and lets the Commissioner, as a Cabinet Order provides, pass some of them on to the directors of the Local Finance Bureaus and Local Finance Branch Bureaus (財務局長, 財務支局長) (Banking Act, Article 59).
Written by AI using Act for Establishment of the Financial Services Agency, Arts. 2, 3 and Banking Act, Art. 59 as a reference.
imprisonment
拘禁刑
The punishment of being held in a penal institution (刑事施設), for life or for a fixed term of one month to twenty years (Penal Code, Article 12, paragraphs (1) and (2)); a fixed term can be raised to thirty years where the punishment is aggravated, or cut below one month where it is reduced (Article 14, paragraph (2)). To help the person reform and rehabilitate, they may be made to do work or given guidance (Article 12, paragraph (3)). It ranks below the death penalty and above a fine (罰金) among the principal punishments (Articles 9 and 10, paragraph (1)). It replaced imprisonment with work (懲役) and imprisonment without work (禁錮) when the Act Partially Amending the Penal Code, etc. (Act No. 67 of 2022) came into force (Act No. 67 of 2022, Article 2), and a person sentenced to either is treated, for the rules on a person's qualifications, as sentenced to imprisonment for the same term (Act No. 68 of 2022, Article 443, paragraph (1)).
Written by AI using Penal Code, Arts. 9, 10, 12, 14, Act No. 67 of 2022, Art. 2 and Act No. 68 of 2022, Art. 443 as a reference.
imprisonment with work
懲役
A punishment the Penal Code had until Act No. 67 of 2022 came into force: being held in a penal institution (刑事施設) and made to do prescribed work, for life or for a fixed term of one month to twenty years (Penal Code, former Article 12). That Act replaced it and imprisonment without work (禁錮) with imprisonment (拘禁刑) (Act No. 67 of 2022, Article 2). An act committed before then is, as a rule, still punished as the law then stood (Act No. 68 of 2022, Article 441, paragraph (1)), and a person sentenced to it is treated, for the rules on a person's qualifications, as sentenced to imprisonment for the same term (Article 443, paragraph (1)).
Written by AI using Penal Code, former Art. 12, Act No. 67 of 2022, Art. 2 and Act No. 68 of 2022, Arts. 441, 443 as a reference.
Prime Minister
内閣総理大臣
The head of the Cabinet. Designated by the Diet from among its own members, and appointed by the Emperor on that designation (Articles 67 and 6). The Prime Minister appoints and may dismiss the other Ministers of State at will, and a majority of them must be members of the Diet (Article 68). No Minister of State can be subjected to legal action while in office without the Prime Minister's consent (Article 75).
Written by AI using Constitution, Arts. 6, 67, 68, 75 and Wikipedia: Prime Minister of Japan as a reference.